Federal Railroad Administration (FRA) Funding for Research Programs

Presented by:

Dr. Maryam Allahyar, Director of FRA’s Office of Research, Development and Technology

Cameron Stuart • Jeff Gordon • Rachael Sack • Frances Bourne

June 16, 2020

2

Federal Railroad Administration – Overview

FRA statistics:

• <1000 employees

• ~75% field/25% HQ

• Regulates over 700

railroads

• Annual research

and development

budget ~$40 million

3

FRA Office of Research, Development and Technology (RD&T)

Mission: To ensure the safe, efficient, and reliable movement

of people and goods by rail through applied research.

FRA Broad Agency Announcement (BAA)Research Programs

Presented by: Cam Stuart, BAA Program Manager, Office of Research, Development and Technology

5

Agenda

• What is a Broad Agency Announcement (BAA)?

• Why does FRA use the BAA process?

• General structure of FRA BAA programs

• Recent BAA program statistics

6

What Is a Broad Agency Announcement?

• A Broad Agency Announcement is a general announcement of an agency’s intent to conduct or support basic or applied research.

– Defined by the Federal Acquisition Regulation (FAR)

– Not for development of specific products or systems

– Only used when meaningful proposals with varying approaches are anticipated (FAR 35.016)

• A BAA contains:– A broad or specific description of research interest

(generalized Statement of Work [SOW])

– Proposal submittal schedule, instructions, and evaluation criteria

7

What Is a Broad Agency Announcement?

• The BAA is a competitive, open procurement process

• FRA solicits research ideas

• From the entire technical marketplace

• That will directly impact the safety and efficiency of freight and passenger rail in the United States

• Awards can be contracts, grants, or co-ops• 100% of FRA awards have been contracts

(fixed-price or cost type)

• Agency guidance/discussion occurs prior to formal proposal submittal (FAR 15.604)

8

Why Does FRA Use the BAA Process?

• Efficient method to solicit research• No detailed SOW needed

• Short research topics!

• Straightforward evaluation process

• Guaranteed competition

• Targets tough challenges• Solutions are unknown

• Generates creative approaches

• Encourages new participants in railroad research

9

General Structure of FRA BAA Programs

• Documents:

• BAA – contains strategic objectives and all requirements for participation in the program

• BAA “Appendix C” (most BAA programs) – separate set of specific research topics for response

• Announcement: beta.sam.gov

• Eligibility: open, except for

university-only programs

• Two-phase process

• Concept papers – 5 pages, 2-month open period

• Proposals – by invitation, up to 20 pages

• Evaluations: all by federal employees

• Award size (general): $150K – $1M

An

no

un

ce

me

nt

to A

wa

rd:

8 –

12

mo

nth

s

10

Recent BAA Statistics

High-Speed Intercity Passenger Rail (HSIPR) BAA

FY 2011–2013

Funding

$30 million

60+awards

Annual Research BAA

FY 2013–Present

Funding is variable from

annual allocations to

RD&T divisions

100+awards

Intelligent Railroad Systems

BAA

FY 2018, 2020*

*Open until June 26, 2020

University or university-led teams only

$1 millionper year

FY 2017–2020

3awards to date

University Research

BAA

FY 2019

$2 million for university/university-led teams only

Proposal evaluations completing

June 2020

11

• Process after project is funded?

• How to get on distribution lists for programs?

• How to learn about solicitations for research ideas?*

• Do applicants receive feedback, whether project is funded or not?

• How to keep in touch with project progress?

• What happens after research is completed?

Other Questions

*https://beta.sam.gov/; https://railroads.dot.gov/program-areas/research-and-

development-funding/broad-agency-announcement

Small Business Innovation Research (SBIR) Program

Presented by:

Jeff Gordon, SBIR Program Manager, Office of Research, Development and Technology (FRA)

Rachael Sack, USDOT SBIR Program Director, Volpe National Transportation Systems Center

13

Agenda

1. What is the Small Business Innovation Research (SBIR) Program?

2. Who is eligible and how is a project selected?

3. How does FRA select its topics?

4. How can I learn more?

14

Congress established the SBIR Program* in 1982 to:

• Meet federal research and development (R&D) needs

• Increase private-sector commercialization of innovation derived from

federal research and development funding

• Stimulate technological innovation

• Foster and encourage participation in innovation and

entrepreneurship by women and socially/economically disadvantaged

individuals

SBIR Overview

*https://www.sbir.gov/

15

EXTRAMURAL RESEARCH BUDGET

SBIR awards

SBIR Overview

DOT DOD DHS

NASA NSF USDA

DOC ED DOE

HHS EPA

Federal Agencies with Extramural

Research Budgets > $100 Million

3.2% must

go to SBIR

awards

16

U.S. DOT’s SBIR Program

• SBIR addresses high-

priority research gaps

within DOT’s R&D program

• SBIR topics are developed

to align with the Secretary’s

strategic priorities, specific

modal priorities, and the

Small Business

Administration (SBA)

DOT Operating Administrations

Participating in SBIR

Federal Aviation Administration (voluntary)

Federal Highway Administration / ITS Joint Program

Office

Federal Railroad Administration

Federal Transit Administration

Federal Motor Carrier Safety Administration

National Highway Traffic Safety Administration

Office of the Secretary

Pipeline and Hazardous Materials Safety Administration

17

• Applicants from industry must be for-profit, U.S.-owned and -operated companies employing under 500 people

• Focus is on performing R&D, not purchasing equipment, commercializing a technology that has already been developed, or one that has very low risk and only needs capital

• For DOT’s SBIR program, applicants cannot be venture capital operating companies (VCOCs), hedge funds, or private equity firms

Eligibility

18

Eligibility

• More than one-half of the principal

investigator's employment time is spent

working for the small business. This typically

precludes full-time employment with another

organization.

• The research or R&D work must be

performed in the United States (with few

exceptions) for Phase I, II, and IIB

19

U.S. DOT’s SBIR Program Details

Annual SBIR

Budget:

$9 million

Annual FRA

SBIR Funding: ~ $1 million*

• Approx. 5 to 10 topics per year

• 12 topics in FY20 (4 from FRA)

Phase IIB

Phase II

Phase IBased on solicitation topics

~25% of Phase II awards

50-60% of Phase I awards

Number of Awards per Year

*May include additional funding when

available and necessary

20

Phase IConcept Development

6 months – 1 year

~ $150,000

Phase II & IIBPrototype Development

24 months

~ $1,000,000

Phase IIICommercialization

No SBIR funding

DOT conducts

evaluations;

limited number

advance to

Pitch Day

Small business

selects a

topic(s) in

solicitation

They submit a

proposal that

meets

solicitation

requirements

DOT selects

awardees; Phase I

contracts are

prepared and

issued by Volpe

Solicitation to Award Process

Three-Phase Process

21

FRA’s RD&T Program and SBIR Topic Areas

As mentioned, FRA’s RD&T Office is organized into four divisions:

See: https://railroads.dot.gov/research-development/research-development-technology

22

FRA’s SBIR Participation History

Avg. Phase I awards/year: 4Avg. Phase II awards/year: >1Avg. Phase I proposals/year: 41

23

• Autonomous Track Inspection

Technology

• AI-Aided Machine Vision for

Grade Crossing Safety

• Platform Edge Proximity

Detection to Prevent

Inadvertent Passenger Car

Door Opening

• Crushed Aggregate Gradation

Evaluation System

FY20 FRA SBIR Topics

For more information on FY20 award recommendations:

https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/fy20-phase-1-awards

24

Current FRA SBIR Topics with Awards

Sample of Active Contracts

• Broken Rail Detection from Flashing Rear End Device

• Drone-Based Track Safety Inspection System

• Portable Stiffness/Elastic Modulus Measurement System

• Improved Condition Monitoring of Traction Motors

• Automated, Drone-Based Grade Crossing Inspection

25

Ongoing Phase IIB SBIR Related to Train Occupant Protection

Resilient Wayside Structures and Passenger Car Survivability

26

SBIR Success Story

For more SBIR success stories, visit: https://www.volpe.dot.gov/work-with-us/small-business-

innovation-research/sbir-success-storiesPhoto credit: GS Engineering, Inc.

27

• One solicitation per year

• Next solicitation expected winter 2020-2021

o Sign up to receive notifications of when topics are posted, as well as

solicitation open and close dates at www.volpe.dot.gov/sbir

• SBIR administers contracts, not grants

• SBIR Program Office does not accept unsolicited proposals

Other Things to Know about SBIR

28

• Process after project is funded?

• Do applicants receive feedback, whether project is funded or not?

• What happens after research is completed?

Other Questions

29

Contact

• For more information about FRA’s Research, Development and Technology

Program, contact:

Jeff Gordon

617-494-2303

Jeffrey.Gordon@dot.gov

• For more information about the DOT’s SBIR Program visit

www.volpe.dot.gov/sbir or contact:

DOT SBIR Program Office

617-494-2051

DOTSBIR@dot.gov

Consolidated Rail Infrastructure and Safety Improvements

(CRISI) Program

Presented by: Frances Bourne, Lead Transportation Industry Analyst, Office of Policy and Planning

31

FY19 CRISI – Program Overview CRISI Program Overview

Grant Purpose

• To fund projects that improve the safety, efficiency, and/or reliability of intercity passenger and freight rail systems

CRISI ‒ Recent & Upcoming Funding Opportunities

YearAvailable

Funding (M)Status

FY17 $65 Awards announced February 2019

FY18 (PTC) $250 Awards announced August and December 2018

FY18 $318 Awards announced June 2019

FY19 $244 Awards announced March 12, 2020

FY20 $311 NOFO published April 20, 2020; app. due June 19, 2020

FY16 FY17 FY18 FY19 FY20

Authorization $98 $190 $230 $255 $330

Appropriation — $68 $592.5 $255 $325

Authorization & Appropriations (M)

Status of Funding Opportunities

NOFO: Notice of Funding Opportunity

32

• State entities

• Public agencies or publicly chartered authorities

• Local governments

• Amtrak or other intercity passenger rail carrier

• Class II or III railroads

• Any rail carrier or equipment manufacturer in partnership with at least one state

entity, public agency, and/or local government

• The Transportation Research Board (TRB)

• A university transportation center engaged in rail-related research

• A non-profit labor organization

Eligible Applicants

CRISI Program Overview

33

• Wide Range of Rail Capital Projects

• Congestion mitigation

• Ridership growth facilitation

• Enhancements to multimodal connections

• Improvements to short-line or regional railroad

infrastructure

• Railroad Safety Technology

• Track, Station, and Equipment Improvements for

Intercity Passenger Rail

• Grade Crossing Improvements

• Rail Line Relocation and Improvement

CRISI Program Overview

Eligible Project Criteria

• Regional, State, Corridor Planning and

Environmental Analyses

• Safety Programs and Institutes

• Research, Workforce Development, and

Training

At least 25% of funds is reserved for rural projects

$45M is set aside for new intercity passenger rail

route right-of-way acquisition, track, or track

structure projects

34

• Primarily a capital project improvement program

• Cost-sharing grants and co-ops for infrastructure and research

• Non-federal match: 20% minimum; preference for 50% or more

• Four tracks• Track 1: Planning

• Track 2: Preliminary Engineering / National Environmental Policy Act review

• Track 3: Final Design/Construction

• Track 4: Research, Safety Programs, and Institutes

• Active 2017 – current

CRISI Program Overview

iv. Track 4—Research, Safety

Programs and Institutes (Non-Railroad

Infrastructure)

Track 4 consists of projects not falling

within Tracks 1–3 and for the

development and implementation of

workforce development activities,

research, safety programs or institutes

designed to improve rail safety that

clearly demonstrate the expected

positive impact on rail safety. Sufficient

detail must be provided on what the

project will accomplish, as well as the

applicant’s capability to achieve the

proposed outcomes. Examples include:

Initiatives for improving rail safety,

training, public outreach, and

education.

35

2018 Grant Selections

Rural Railroad Safety Center

Kansas State University

Award: Up to $2,574,365

• Kansas State University will lead development of Rural Railroad Safety Center with partner institutions:

• University of Nebraska, Lincoln

• University of Florida

• Pennsylvania State University, Altoona

• California State University, Chico

• Project will provide railroad industry workforce development and safety research

Florida Strategies for Reducing Railway Trespassing

Florida Department of Transportation

Award: Up to $157,683

• Develops a geographic information system mobile application for the Louisville and Indiana Railroad Company with software, linking railroad dispatch and first responders and aiding communication and response during railroad incidents

• Collaborators:

• The American Short Line and Regional Railroad Association

• The Short Line Safety Institute

Mobile Device Emergency Responder Access Application

Louisville and Indiana Railroad Company

Award: Up to $335,361

Pilot program using drone technology, closed-circuit television with remote monitoring, and geographic information system spatial analysis to aid partnerships among local law enforcement agencies to combat trespassing in Volusia, Seminole, Orange and Osceola counties.

36

• FY20 CRISI Program NOFO:• https://www.federalregister.gov/documents/2020/04/20/2020-08226/notice-

of-funding-opportunity-for-consolidated-rail-infrastructure-and-safety-

improvements

• FY20 CRISI Grants NOFO Webinar: • https://railroads.dot.gov/rail-network-development/training-

guidance/webinars

More Information about the FY20 CRISI Program

Q&A

37

CONTACT USFederal Railroad Administration

1200 New Jersey Avenue, SE

Washington, DC 20590

For more information visit us at

www.fra.dot.gov

Connect with us USDOTFRA

BAA:

Cam Stuart FRA BAA Program Manager Cameron.Stuart@dot.gov

SBIR:

Jeff GordonFRA SBIR Program ManagerJeffrey.Gordon@dot.gov

Rachael SackU.S. DOT SBIR Program DirectorRachael.Sack@dot.gov

CRISI:Frances BourneFRA Transportation Industry AnalystFrances.Bourne@dot.gov